FINRA Fine

David Levine (CRD #: 2569418), a broker registered with B. Riley Wealth Management, has been suspended by FINRA, according to his BrokerCheck record, accessed on […]

Steven Romjue (CRD #: 1822291), a previously registered broker with Morgan Stanley, has been suspended by FINRA, according to his BrokerCheck record, accessed on June […]

Patrick Teutonico (CRD #: 2875434), a broker registered with Network 1 Financial Securities, has been suspended by FINRA, according to his BrokerCheck record, accessed on […]

First Allied investors should review their portfolios to check if they recently lost money on risky, non-traded REITs. In March of 2022, FINRA ordered First […]

Mark Giordano (CRD #: 4052216), a former broker, resigned from Cetera Financial Specialists, according to his BrokerCheck record, accessed on May 28, 2022. His resignation […]

Andrew Elsoffer (CRD #: 2580009), a former broker, has been suspended from FINRA, according to his BrokerCheck record, accessed on May 19, 2022. Keep reading […]

Jayanth Hebbar (CRD #: 5244889), a suspended stock broker, allegedly broker FINRA rules. This is according to his BrokerCheck record, accessed on May 16, 2022. […]

FINRA has fined UBS and Morgan Stanley for failing to report transactions. Transaction reports affect share prices and can impact investors’ decisions to buy or […]

Steven Barnett (CRD #: 1143510), a former broker, was temporarily suspended by FINRA, according to his BrokerCheck record, accessed on May 8, 2022. Read on […]

Patrick O’Neill (CRD #: 2615841) has been suspended by FINRA, according to his BrokerCheck record, accessed on May 6, 2022. Read on if you have […]